12d1–1 Sample Clauses

12d1–1 any other registered investment com- pany; and(B) The company, and any invest- ment adviser and principal underwriter of the company, from entering into any agreement (whether oral or written) or other understanding under which the company directs, or is expected to di- rect, portfolio securities transactions, or any remuneration described in para- graph (h)(1)(ii) of this section, to a broker (including a government securi- ties broker) or dealer (including a mu- nicipal securities dealer or a govern- ment securities dealer) in consider- ation for the promotion or sale of shares issued by the company or any other registered investment company.[45 FR 73905, Nov. 7, 1980, as amended at 60FR 11885, Mar. 2, 1995; 61 FR 49011, Sept. 17,1996; 62 FR 51765, Oct. 3, 1997; 66 FR 3758, Jan.16, 2001; 69 FR 46389, Aug. 2, 2004; 69 FR 54733,Sept. 9, 2004; 78 FR 79299, Dec. 30, 2013] § 270.12d1–1 Exemptions for invest- ments in money market funds.
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